Vancouver fund salesman barred from markets
Monterossa borrowed money from clients
- By: IE Staff
- June 28, 2002 June 28, 2002
- 08:55
Latest news in From the Regulators
OSFI revises guidelines on money laundering
Scope widened to include life insurers
- By: IE Staff
- June 27, 2002 June 27, 2002
- 16:50
RS clarifies off-marketplace trades
Trades between spouses not to be executed off-marketplace
- By: IE Staff
- June 26, 2002 June 26, 2002
- 15:09
SIA lowers profit forecast for American securities industry
Q1 profits 7.7% below predicted level
- By: IE Staff
- June 25, 2002 June 25, 2002
- 16:10
NASD settles with U.S. Bancorp Piper Jaffray
Fined US$250,000
- By: IE Staff
- June 25, 2002 June 25, 2002
- 14:25
B.C. mutual fund dealer fined $20,000
Failed to comply with client account rules
- By: IE Staff
- June 25, 2002 June 25, 2002
- 11:30
Securities regulators streamlining filing requirements
Propose new national instrument for continuous disclosure obligations
- By: IE Staff
- June 25, 2002 June 25, 2002
- 10:10
International CFP organization to be established
Will eventually be responsible for all aspects of CFP
- By: IE Staff
- June 24, 2002 June 24, 2002
- 15:45
IDA passes new leverage disclosure by-law
Goes further than previous rule
- June 24, 2002 June 24, 2002
- 15:10
Research Capital slapped with fine
Trader didn't complete tickets properly
- By: IE Staff
- June 24, 2002 June 24, 2002
- 14:55
CSA propose harmonized continuous disclosure requirements
Harmonized exemptions for foreign issuers
- By: IE Staff
- June 21, 2002 June 21, 2002
- 16:20
B.C. man used “pump and dump” scheme to manipulate stocks
Hundreds of false messages posted to Internet bulletin boards
- By: IE Staff
- June 21, 2002 June 21, 2002
- 08:15
Proposed regulations seek to deter money laundering
Ottawa seeks comment on currency reporting
- By: IE Staff
- June 20, 2002 June 20, 2002
- 16:55
OSC reprimands “psychic”
Harvie illegally distributed shares in Lydia Diamond
- By: IE Staff
- June 20, 2002 June 20, 2002
- 16:10
BCSC settles with unregistered Manitoba fund dealer
Summit Aurum fined $55,000
- By: IE Staff
- June 20, 2002 June 20, 2002
- 08:50
OSC suspends Valentine
Former Thompson Kernaghan chair under investigation
- By: IE Staff
- June 18, 2002 June 18, 2002
- 15:40
Quebec fund rep convicted of tax fraud
Promoted self-directed RRSP scheme
- By: IE Staff
- June 18, 2002 June 18, 2002
- 11:10
OSC reprimands Phoenix Research chairman
Kassirer fined $10,000
- By: IE Staff
- June 17, 2002 June 17, 2002
- 15:25
CSA seek comments on National Registration Database
NRD expected to launch in November
- By: IE Staff
- June 14, 2002 June 14, 2002
- 15:45
OSC earns right to review Deloitte papers
Actions not "unreasonable", court says
- By: James Langton
- June 14, 2002 June 14, 2002
- 14:05
OSC commences proceeding against Phoenix Research
Inadequate supervision of unregistered portfolio manager
- By: IE Staff
- June 13, 2002 June 13, 2002
- 16:10
Former head trader at Yorkton contravened securities laws
OSC sets date for sanction hearing
- By: IE Staff
- June 11, 2002 June 11, 2002
- 17:45
NASD approves new divisional structure
Reorganization reflects sole focus on market regulation
- By: IE Staff
- June 7, 2002 June 7, 2002
- 11:20
IDA extends notification deadline for Ontario reps
Reps given 10 days to notify IDA of civil proceedings
- By: IE Staff
- June 7, 2002 June 7, 2002
- 11:10
Regulatory overhaul in Quebec hampering MFDA
Association awaiting passage of Bill 107
- By: James Langton
- June 7, 2002 June 7, 2002
- 09:30